Registered Principal, Ameriprise Financial Advisors

Ameriprise•Minneapolis, MN

23h•Hybrid

About The Position

Provides front-line supervision of financial advisors to ensure compliant, well-managed practices aligned with regulatory requirements and Ameriprise Financial policies. Partners closely with advisors through ongoing coaching, documented oversight, and feedback to promote suitable sales practices and ethical conduct. Proactively identifies and addresses supervisory, compliance, and operational risks through reviews, reporting analysis, office inspections, and client outreach, while serving as a key liaison with Compliance, Legal, and other corporate partners to resolve issues, implement supervision plans, and maintain accurate supervisory records using required technology tools.

Requirements

Knowledge of financial services industry and B/D regulatory rules
3–5 years of compliance supervisory experience
Demonstrated ability to exercise sound and impartial judgment in addressing issues with individuals the supervisor supervises
Strong oral and written communication skills
Demonstrated conflict management
Ability to deliver difficult messages
Demonstrated ability to influence
Demonstrated advanced analysis and problem-solving skills
Active Series 7
Active Series 24
Active State IAR registration (S65 or S66)
Active State securities agent registration (S63 or S66)
Applicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN).

Nice To Haves

5-7 years of compliance supervisory experience
Self-motivated with the ability to achieve results in an independent environment, aptitude with technology, ability to manage multiple tasks

Responsibilities

Provide front-line supervision to an advisor’s practice while modeling exemplary leadership behaviors.
Proactively work with advisors to support their effort to run a compliant practice.
Conducting and documenting ongoing 1:1 interactions
Providing feedback and documenting observations related to the advisor’s sales activity and suitability of the advisor’s recommendations
Inspecting registered offices under your supervision pursuant to Ameriprise Financial policy
Administering discipline and education corrective processes when appropriate
Coaching advisors on supervisory policies and procedures
Acting as the main resource for advisors on compliance tasks
Validating appropriate advisor training is taking place
Proactively detect violations of policy or procedure through: responding to corporate requests to review advisor activity, making client calls, analyzing reports and other metrics for trends
As prescribed by the Written Supervisory Procedures, accurately and completely follow-up, review and sign-off or reject advisor activity.
Identify and provide response to issues identified by corporate business partners.
Working with Centralized Supervision Unit and Compliance on escalated issues and supervision plans
Working with Compliance on complaints
Working with Legal on investigations
Resolving issues identified in field office inspections
Complying with record keeping processes, required use of certain technology tools and systems
Collaborating with Supervision and Compliance on outside business activity approval/review and policy exception requests